Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Don? Claim Your ProfileDon Scott Uptegraph has been a registered investment advisor for over 30 years. Don is a registered representative with Morgan Stanley. Don has a variety of experience in the financial services industry and is registered in over 30 states. Don has a variety of specializations including Fixed Income, Equities, Mutual Funds, Options, and Annuities. Don is also licensed as an Investment Advisor Representative in Texas. Prior to joining Morgan Stanley, Don worked at UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Citigroup Global Markets Inc. Don has been with Morgan Stanley since 2010 and is currently located in the Houston, Texas office.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
10/25/2010 - Present
Morgan Stanley (Houston TX)
TX
06/01/2009 - 10/01/2010
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
11/09/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NJ
08/24/1998 - 11/29/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
08/22/1990 - 08/25/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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